Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Rathbones Investment Management Limited
FRN 116316
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 16 Oct 2024)
- [FCA CF] Functions requiring qualifications (since 16 Oct 2024)
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- [FCA CF] Functions requiring qualifications (12 Nov 2021 to 25 May 2022)
- [FCA CF] Client dealing (12 Nov 2021 to 25 May 2022)
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- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jan 2022)
- [FCA CF] Client dealing (9 Dec 2019 to 1 Jan 2022)
- CF30 Customer (24 Oct 2016 to 8 Dec 2019)
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- CF30 Customer (4 Aug 2014 to 2 Nov 2016)
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- CF30 Customer (1 Mar 2013 to 10 Jul 2014)
- CF22 Investment Adviser (Trainee) (7 Jun 2005 to 3 Apr 2007)
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- CF30 Customer (26 Jul 2011 to 23 Nov 2012)
- CF22 Investment Adviser (Trainee) (29 May 2007 to 31 Oct 2007)
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- CF21 Investment Adviser (24 Jun 2004 to 31 May 2005)
- CF22 Investment Adviser (Trainee) (4 Sep 2003 to 24 Jun 2004)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.